Administrative Proceeding File No. 3-16706

Respondents

Uppal, Sachin K.

Release Date	Release Number	Other Release Numbers	Name of Document
Release Date: Aug. 4, 2023	Release Number:IA-6364	Other Release Numbers:	Name of Document: Order Requesting Additional Briefing
Release Date: Dec. 1, 2015	Release Number:920	Other Release Numbers:	Name of Document: Initial Decision
Release Date: Sept. 22, 2015	Release Number:AP-3159	Other Release Numbers:	Name of Document: Order Extending Answer Due Date
Release Date: Sept. 3, 2015	Release Number:AP-3093	Other Release Numbers:	Name of Document: Order to Show Cause and Directing Division to Respond to Respondent's Motion
Release Date: Aug. 11, 2015	Release Number:AP-3029	Other Release Numbers:	Name of Document: Order Following Prehearing Conference
Release Date: Aug. 6, 2015	Release Number:AP-3015	Other Release Numbers:	Name of Document: Order Postponing Hearing and Scheduling Prehearing Conference
Release Date: July 29, 2015	Release Number:AP-2988	Other Release Numbers:	Name of Document: Order Scheduling Hearing and Designating Presiding Judge
Release Date: July 28, 2015	Release Number:IA-4149	Other Release Numbers:	Name of Document: Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing

Release Date	Release Number	Other Release Numbers	Name of Document
Release Date: Aug. 26, 2015	Release Number:	Other Release Numbers:	Name of Document:Respondent's Request for Extension
Release Date: Sept. 10, 2015	Release Number:	Other Release Numbers:	Name of Document:Division's Response to Respondent's Motion for Extension of Time to File an Answer
Release Date: Sept. 21, 2015	Release Number:	Other Release Numbers:	Name of Document:Respondent's Response to ALJ's Order to Show Cause as to Why Respondenfs Response Is Delayed and Not Conforming to Rules of Practice
Release Date: Sept. 21, 2015	Release Number:	Other Release Numbers:	Name of Document:Division's Motion for Summary Disposition Against Respondent
Release Date: Sept. 21, 2015	Release Number:	Other Release Numbers:	Name of Document:Division's Memorandum of Law in Support of Its Motion for Summary Disposition
Release Date: Oct. 13, 2015	Release Number:	Other Release Numbers:	Name of Document:Respondent's Response to the OIP, with Certificate of Service
Release Date: Dec. 1, 2015	Release Number:	Other Release Numbers:	Name of Document:Initial Decision
Release Date: July 28, 2015	Release Number:	Other Release Numbers:	Name of Document:Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Release Date: Feb. 5, 2016	Release Number:	Other Release Numbers:	Name of Document:Notice That Initial Decision Has Become Final
Release Date: July 29, 2015	Release Number:	Other Release Numbers:	Name of Document:Order Scheduling Hearing and Designating Presiding Judge
Release Date: Aug. 6, 2015	Release Number:	Other Release Numbers:	Name of Document:Order Postponing Hearing and Scheduling Prehearing Conference
Release Date: Aug. 11, 2015	Release Number:	Other Release Numbers:	Name of Document:Order Following Prehearing Conference
Release Date: Sept. 3, 2015	Release Number:	Other Release Numbers:	Name of Document:Order to Show Cause and Directing Division to Respond to Respondent's Motion
Release Date: Sept. 22, 2015	Release Number:	Other Release Numbers:	Name of Document:Order Extending Answer Due Date